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Is there any other basis for an investment advisor representative candidate to obtain a waiver of the Series 65 examination requirement?


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Yes, under limited circumstances, some state securities regulators will allow exceptions to its requirement of a current Series 65 (registered with a state securities regulator in the last 2 years) when the investment advisor representative candidate who never passed the Series 65 or has an expired Series 65 but has continued to work within the securities industry in a capacity that previously didn’t require registration. The state securities regulator will require a written request for a Series 65 qualification waiver. Such a waiver request is handled on a case-by-case basis by the state securities regulator and may require between 15 to 20 years of prior and continuous work experience.

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